RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T••••• W•••••• M•••••
- C••••••• P••••••• independent RIA currentsince Apr 3, 2017 · Overland Park, Ks
- A••••• A•• P••••••• S••••••• BD affiliatedJun 10, 2014 to Mar 14, 2017 · Philadelphia, Pa
- S•••••••• A••••••• L•• national BDFeb 25, 2013 to May 12, 2014 · Philadelphia, Pa
- N••••••• L•• formerSep 5, 2012 to Jan 9, 2013 · Glenside, Pa
- V•••••• A••••••• unclassifiedJan 15, 2010 to Nov 30, 2012 · Boston, Ma
- A••••• A•• P••••••• S••••••• BD affiliatedMar 19, 2007 to Jan 22, 2010 · Philadelphia, Pa
- V••••••• A•••••••• I••• BD affiliatedOct 22, 2004 to Feb 20, 2007 · Malvern, Pa
- A••••• A•• P••••••• S••••••• to C••••••• P•••••••left Mar 14, 2017, registered Apr 3, 2017 (20 days) · Other
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left May 12, 2014, registered Jun 10, 2014 (29 days) · Other
- N••••••• L•• to S•••••••• A••••••• L••left Jan 9, 2013, registered Feb 25, 2013 (47 days) · Other
- V•••••• A••••••• to N••••••• L••left Nov 30, 2012, registered Sep 5, 2012 (-86 days) · Other
- A••••• A•• P••••••• S••••••• to V•••••• A•••••••left Jan 22, 2010, registered Jan 15, 2010 (-7 days) · Other
- V••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Feb 20, 2007, registered Mar 19, 2007 (27 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address